| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| ONE CHINA SECURITIES LIMITED | Rep | 證券交易 | 2012-02-27 | 2016-06-30 |
| FULBRIGHT SECURITIES LIMITED | Rep | 證券交易 | 2007-07-19 | 2012-01-01 |
| Hongkong Bay Securities Limited | Rep | 就機構融資提供意見 | - | 2003-11-19 |
| Rep | 就證券提供意見 | - | 2003-11-19 | |
| Rep | 提供資產管理 | - | 2003-11-19 | |
| Rep | 證券交易 | - | 2007-07-13 |